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Securities and Exchange Commission Rules

The financial definition for Securities and Exchange Commission Rules:

Rules enacted by the SEC to assist in the regulation of US financial SEC.




Similar Matches

Commission broker

Commission broker
A broker on the floor of an exchange who acts as agent for a particular brokerage house and buys and sells stocks for the brokerage house on a commission basis.


Commission house

Commission house
A firm that buys and sells futures contracts for customer accounts. Related: futures commission merchant, omnibus account.


Commodity Futures Trading Commission (CFTC)

Commodity Futures Trading Commission (CFTC)
An agency created by the US Congress in 1974 to regulate exchange trading in futures.


Further Suggestions

Federal Maritime Commission (FMC)
Fee and commission compensation
Futures commission merchant (FCM)
Securities & Exchange Commission (SEC)
Split commission
Underwriting Commission


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Securities and Exchange Commission Rules
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